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RIA / WealthAdvisor11 years in industry

SETH AARON ROSENBERG

Advisor at ABILITY FIRST

Phoenix, AZ

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Search this name across graphsid dfx:ria:fe2867f6-8a0f-b570-ae75-8cdba9a6c2ca

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 24, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ABILITY FIRST
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 23, 2014
First registration: Dec 24, 2014
Dual registered: no
Other names: SETH A ROSENBERG
IAPD individual key: 6414032

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ABILITY FIRST	State registered	Jan 10, 2019	n/a	yes	Phoenix, AZ	Current employment
CAPITAL EXECUTIVE SOLUTIONS	n/a	Jan 24, 2018	Dec 14, 2018	no	Phoenix, AZ	Previous registration
LIFEMARK SECURITIES CORP.	Bd affiliated wealth	Oct 21, 2015	Jan 31, 2018	no	Towson, MD\|Phoenix, AZ\|ROCHESTER, NY\|Phoenix, AZ	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 24, 2014	Aug 20, 2015	no	Hunt Valley, MD\|North Bethesda, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAPITAL EXECUTIVE SOLUTIONS	ABILITY FIRST	Dec 14, 2018	Jan 10, 2019	27	Firm change	Other
LIFEMARK SECURITIES CORP.	CAPITAL EXECUTIVE SOLUTIONS	Jan 31, 2018	Jan 24, 2018	-7	Firm change	Other
PRUCO SECURITIES, LLC	LIFEMARK SECURITIES CORP.	Aug 20, 2015	Oct 21, 2015	62	Firm change	Other

Relationships

Registered with (4)

→ ABILITY FIRSTRegistered adviserregistration: current employment
Jan 10, 2019 to presentfactForm ADV
→ CAPITAL EXECUTIVE SOLUTIONSRegistered adviserregistration: previous registration
Jan 24, 2018 to Dec 14, 2018factForm ADV
→ LIFEMARK SECURITIES CORP.Registered adviserregistration: previous registration
Oct 21, 2015 to Jan 31, 2018factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 24, 2014 to Aug 20, 2015factForm ADV

Dated events

No dated event names this entity yet.